2012 12 12 (297 ) China Industrial Economics Dec. 2012 No.12 1 2 3 (1. 250014; 2. 250014; 3. 250014) [ ] 2003 2010 37 : 36 ; 7 23 21 34 [ ] ; ; ; [ ]F424.7 [ ]A [ ]1006-480X(2012)12-0057-13 ( 2009; 2001; 1995; 1998; 2011) ( 2009; 2000; 2007; 2010) ( 2010; 2004) [ ] 2012-11-04 [ ] ( 70973070); ( 12BJL011); ( 09YJA790124) [ ] (1964 ) ; (1977 ) ; (1971 ) 57
( 2011) Shirley and Walsh(2001) 1975 1999 52 ( 2011; 2011; 2010) ( 2010; 2011; 2012)??? 2003 ; 1. 2003 2010 1 ( ) ( ) :1 2010 33351 (124455 )26.8%; 1839.7 (3760.7 )49%; 142488.1 (187492.9 )38.1% 2 ;2 ; 32003 2002 3 39 37 1 37 2004 37 37 3 ( 2006) 1 2 3 58 (2004 2011) (2011) (CRn) (HHI)
( 2011) ( 2011) 1 X1: X2: X3: X4: X5: X23: X24: X25: X26: X27: X6: X7: X8: X28 X9: X10: X29: X30: X11: () X31: X12: X32: X13: X14: X15: X33: X16: X34: X17: X18: X19: X35: X36: X20: X21: X37: X22: : ( 2012) 2. :E=(x 1 +x 2 + +x n ) (q 1 +q 2 + +q n ) E x q? : DEA Malmquist ( 2011; 2002) ( 2011) ( 2011) ( 2010; 2012; 2005) 59
1 : 12 6 ( ) ; : V i = S i S i X 軍 V i X 軍 ; V i 0.5 2 2 A1: ( ) 50.43 55.87 1.11 6.14 476.07 A2: ( ) 64.00 45.97 0.72 5.64 280.34 A3: ( ) 37.38 28.40 0.76 2.45 184.23 A4: ( ) 53.39 61.80 1.16 6.26 480.50 A5: ( ) 3.22 5.87 1.82-31.32 41.01 A6: ( ) 2.05 2.80 1.37 0.14 34.21 A7: (%) 2.68 3.64 1.36 0.00 18.86 A8: (%) 9.52 7.77 0.82-6.97 58.38 A9: (%) 59.06 9.11 0.15 34.51 86.16 A10: (/) 1.84 0.96 0.52 0.69 6.09 A11: (%) 7.52 12.37 1.65-7.64 101.52 A12: (%) 87.08 30.23 0.02-7.64 106.64 0.5 0.02 0.15 0.22 10 ( 3) Cronbach α α 0.788F 252.868α 0.7P 0.05 1 60 2004 2011
4 A7 A4 A10 0.215 0.129 0.120 ; A5 A8 A11 0.009 0.043 0.069 0.1 3 A1: A2: A3: A4: A5: A6: A7: A8: A10: A11: 4 A1 A2 A3 A4 A5 A6 A7 A8 A10 A11 0.115 0.114 0.108 0.129 0.009 0.077 0.215 0.043 0.120 0.069 3. 2 2003 2010 296 1.82 0.52 5 2003 ; 5 2003 2004 2005 2006 2007 2008 2009 2010 ( ) 22.34 28.88 37.34 45.89 58.91 62.71 64.12 83.28 ( ) 35.94 39.89 48.86 59.39 66.75 74.37 84.92 101.91 ( ) 20.75 23.34 28.12 35.03 38.01 42.99 51.03 59.78 ( ) 23.03 29.10 38.31 49.58 61.27 64.48 66.29 95.03 ( ) 1.21 1.80 2.27 2.86 4.13 3.09 4.04 6.36 ( ) 0.99 1.16 1.45 1.76 2.36 2.39 2.41 3.90 (%) 2.68 2.68 2.68 2.68 2.68 2.67 2.67 2.67 (%) 6.90 6.90 8.93 9.39 11.12 10.29 10.39 12.27 (/) 1.54 1.54 1.81 1.97 2.09 2.03 1.82 1.96 (%) 5.09 5.09 7.99 8.05 9.00 8.51 7.32 9.12 61
:2003 2010 1. 6 (X9) 36 23.9% 5.56% 2003 : 2004 2010 137753 124455 ; 3976.3 3760.7 ; 74985.5 187492.9 150% 5.96%; 78540.3 245379.7 212.4% 11.36% 2. 37 K- 37 : ( 7) 0.25 0.67 0.351 8.13% (X17) (X35) 49.7%48.2% 9.53%8.48%; 2010 (X18) (X25) (X34) 0.15 0.27 0.21 5.29% (X37)( 18.6%4.51%) (X3) ( 21.1%12.01%) (X7) ( 19.6%4.66%) (X13)( 20.1%9.67%) 62
6 X1 X2 X3 X4 X5 X6 X7 X8 X9 X10 X11 X12 X13 2003 0.283 0.315 0.149 0.164 0.145 0.191 0.165 0.188 0.200 0.140 0.132 0.147 0.138 2004 0.297 0.329 0.156 0.170 0.148 0.195 0.169 0.192 0.195 0.142 0.133 0.149 0.141 2005 0.336 0.404 0.181 0.210 0.162 0.216 0.184 0.199 0.184 0.140 0.142 0.160 0.182 2006 0.355 0.433 0.189 0.227 0.171 0.225 0.196 0.212 0.187 0.144 0.151 0.169 0.200 2007 0.365 0.425 0.212 0.221 0.173 0.249 0.201 0.226 0.187 0.153 0.154 0.170 0.214 2008 0.389 0.458 0.253 0.224 0.183 0.241 0.213 0.235 0.176 0.152 0.173 0.172 0.225 2009 0.390 0.373 0.223 0.218 0.181 0.250 0.212 0.241 0.175 0.153 0.160 0.174 0.244 2010 0.406 0.412 0.329 0.256 0.198 0.268 0.226 0.255 0.184 0.161 0.188 0.179 0.263 0.352 0.394 0.211 0.211 0.170 0.229 0.196 0.218 0.186 0.148 0.154 0.165 0.201 (%) 5.300 3.890 12.010 6.500 4.520 5.010 4.660 4.410 1.240 2.020 5.140 2.860 9.670 X14 X15 X16 X17 X18 X19 X20 X21 X22 X23 X24 X25 X26 2003 0.180 0.160 0.136 0.356 0.243 0.191 0.191 0.166 0.165 0.190 0.279 0.205 0.161 2004 0.186 0.162 0.136 0.392 0.249 0.193 0.189 0.169 0.174 0.193 0.298 0.217 0.167 2005 0.206 0.165 0.141 0.438 0.271 0.200 0.204 0.184 0.184 0.194 0.328 0.248 0.179 2006 0.213 0.169 0.151 0.461 0.287 0.201 0.206 0.190 0.183 0.203 0.347 0.292 0.193 2007 0.219 0.185 0.158 0.519 0.307 0.210 0.220 0.206 0.195 0.219 0.387 0.320 0.213 2008 0.248 0.187 0.158 0.532 0.306 0.216 0.193 0.207 0.210 0.238 0.418 0.307 0.219 2009 0.251 0.187 0.157 0.600 0.310 0.220 0.204 0.214 0.204 0.243 0.411 0.304 0.217 2010 0.271 0.195 0.165 0.674 0.336 0.232 0.218 0.229 0.211 0.265 0.438 0.347 0.228 0.222 0.176 0.150 0.497 0.289 0.208 0.203 0.196 0.191 0.218 0.363 0.280 0.197 (%) 5.990 2.840 2.800 9.530 4.740 2.810 1.890 4.700 3.610 4.910 6.630 7.770 5.090 X27 X28 X29 X30 X31 X32 X33 X34 X35 X36 X37 2003 0.197 0.193 0.273 0.175 0.228 0.144 0.153 0.161 0.342 0.172 0.159 2004 0.205 0.195 0.281 0.182 0.230 0.149 0.156 0.167 0.360 0.178 0.166 2005 0.213 0.201 0.286 0.204 0.237 0.163 0.161 0.205 0.429 0.198 0.171 2006 0.224 0.208 0.310 0.223 0.226 0.171 0.169 0.355 0.474 0.225 0.180 2007 0.241 0.224 0.343 0.237 0.233 0.178 0.187 0.396 0.520 0.235 0.190 2008 0.251 0.239 0.350 0.246 0.250 0.188 0.204 0.205 0.549 0.266 0.201 2009 0.262 0.250 0.381 0.257 0.252 0.189 0.205 0.229 0.573 0.327 0.203 2010 0.267 0.266 0.422 0.281 0.269 0.205 0.233 0.566 0.605 0.312 0.217 0.233 0.222 0.331 0.226 0.240 0.173 0.183 0.286 0.482 0.239 0.186 (%) 4.480 4.690 6.460 7.000 2.380 5.120 6.170 19.630 8.480 8.820 4.510 T : x 軃 = 1 Σx T i ; 姨 T-1 r 軃 = 仪 x i /x i-1 T i=2-1 i=1 19 2003 0.2 0.2 (X9) 63
7 X1: X2: X17: X18: X24: X25: 10 X29: X34: X35: X36: X3: X4: X6: X7: X8: X13: X14: X19: X20: X21: X22: X23: X26: X27: X28 19 X30: X31: X33: X37: X5: X9: X10: X11: () X12: X15: X16: 8 X32: 3.01% (X5) 17.0%4.52% 2003 37 (X9) ; ( 2010)? 2005 2010 2007 2010 1. 1 2 64
; ; 2. 8 : X1 0.352*C ; 0.317*C (X1) 8 2 (X2) (X35);5 (X1) (X17) (X29) (X31) (X34); 30 23 (X4) (X36) (X37) (X6) (X7) (X8);4 ; 10 65
8 M M M M M M X1 0.352*C 0.317*C 0.169 X20 0.203*C 0.359*AC 0.159 X2 0.394*B 0.310 0.609*AB X21 0.196*C 0.265*AC 0.148 X3 0.211 0.348*AC 0.152 X22 0.191*C 0.298*AC 0.166 X4 0.211*C 0.302*AC 0.151 X23 0.218 0.385*AC 0.162 X5 0.170 0.304*AC 0.150 X24 0.363*C 0.427*AC 0.188 X6 0.229*C 0.411*AC 0.177 X25 0.280*C 0.413*AC 0.169 X7 0.196*C 0.293*AC 0.162 X26 0.197*C 0.322*AC 0.166 X8 0.218*C 0.286*AC 0.158 X27 0.233*C 0.363*AC 0.169 X9 0.186 0.396*AC 0.185 X28 0.222*C 0.293*AC 0.157 X10 0.148 0.297*AC 0.210*A X29 0.331*C 0.309*C 0.206 X11 0.154 0.283*AC 0.189*A X30 0.226 0.338*AC 0.210 X12 0.165 0.318*AC 0.138 X31 0.240 0.248 0.323*AB X13 0.201*C 0.253*AC 0.143 X32 0.173 0.231*AC 0.154 X14 0.222*C 0.286*AC 0.152 X33 0.183 0.259*AC 0.154 X15 0.176*C 0.235*AC 0.134 X34 0.286 0.402*C 0.154 X16 0.150 0.232*AC 0.156 X35 0.482*BC 0.322*C 0.211 X17 0.497*C 0.406*C 0.223 X36 0.239*C 0.339*AC 0.165 X18 0.289*C 0.380*AC 0.186 X37 0.186*C 0.239*AC 0.151 X19 0.208*C 0.277*AC 0.153 : 0.05A B C 3. 30 9 21 21 ( : X1) ( : X13)2 ; 34 66
9 X1 5.3 4.4 9.8 X14 6.0 3.4 0.6 X27 4.5 4.2 1.2 X2 3.9 11.3 6.8 X15 2.8 1.7 0.2 X28 4.7 5.4 1.6 X3 12.0 11.0 3.7 X16 2.8 0.1 0.0 X29 6.5 4.9 3.5 X4 6.5 5.7 0.8 X17 9.5 11.3 3.5 X30 7.0 4.3 0.7 X5 4.5 8.3 0.5 X18 4.7 5.2 2.0 X31 2.4 2.4 2.0 X6 5.0 5.0 0.4 X19 2.8 7.4 2.0 X32 5.1 4.9-1.3 X7 4.7 5.4 0.7 X20 1.9 5.5 1.5 X33 6.2 1.3-0.1 X8 4.4 7.6 1.2 X21 4.7 5.5 1.0 X34 19.6 8.2 5.4 X9-1.2 1.0-0.4 X22 3.6 3.3 0.3 X35 8.5 12.2 2.3 X10 2.0 1.6-2.2 X23 4.9 4.8 1.3 X36 8.8 7.8 2.3 X11 5.1 1.5-0.9 X24 6.6 5.7 1.1 X37 4.5 4.4-0.4 X12 2.9 5.5 0.7 X25 7.8 9.0 0.3 X13 9.7 2.8-0.3 X26 5.1 3.4-0.1?? :1 2 3? 37 2003 2010 : :1 36 ;2 67
; 3 ;4 : (X2) (X1) (X17) ; (X24) (X13) () (X11) ; (X9) (X35) (X36) (X37) (X22) (X26) (X33) 23 1 Shirley M. Walsh P. Public vs. Private Ownership[R]. World Bank Policy Research Working Paper2001. 2. [J]. 2009(4). 68
3. [J]. 2001(10). 4. [J]. 1995(7). 5. :1985 1994[J]. 1998(1). 6. [J]. 2011(4). 7. [J]. 2009(3). 8. [J]. 2000(15). 9. [J]. 2007(8). 10. [J]. 2010(7). 11. [J]. 2010(1). 12. [J]. 2004(2). 13. [J]. 2011(2). 14. [J]. 2011(2). 15. [J]. 2011(2). 16. [J]. 2010(2). 17. [J]. 2010(10). 18. [J]. 2011(5). 19. 2000 2009 20 [J]. 2012(3). 20. [J]. 2006(1). 21. [N]. 2011-01-07. 22. [J]. 2012(3). 23 Bigsten Arne. 1980 1994 [J]. ( ) 2002(2). 24. [J]. 2005(2). 25. [J]. 2010(1). An Industry Inspection on the Efficiency of State-owned Industrial Enterprises HAO Shu-chen 1 TIAN Jin-fang 2 TAO Hu 3 (1. School of Public Finance and Taxation of SDUFE Jinan 250014 China; 2. School of Statistics of SDUFE Jinan 250014 China; 3. School of Business Administration of SDUFE Jinan 250014 China) Abstract: The paper analyses the efficiency of state-owned and state-controlled enterprises using entropy weight comprehensive evaluation method with 37 industrial sectors over the period 2002-2009 and makes a comparative research with private enterprises and foreign & Hong Kong -Macao -Taiwan invested enterprises. The results show that the efficiency of state -owned industrial enterprises is growing year by year in 36 sectors. Compared with other types of ownership enterprises the level of efficiency of state-owned industrial enterprises is not lower than that of private enterprises in 7 sectors and achieves significantly higher than that of foreign-funded enterprises in 23 sectors. However the growth rate of efficiency of state -owned industrial enterprises is much higher than that of private enterprises in 21 sectors and more of foreign-funded enterprises in 34 sectors. The 37 sectors include both monopolized and competitive and sectors monopolized or not have no necessary link with efficiency and ownership. Therefore exiting of state-owned enterprises has no realistic basis at the present stage of China and the adjustment of industrial distribution of state -owned enterprises should be based on efficiency to optimize the configuration of state-owned capital. Key Words: state-owned industrial enterprises; industry efficiency; competitiveness; monopoly 责任编辑: 王燕梅 69